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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 238.31 | 04/20/2021 | A | 56,846 | 04/20/2022(1) | 04/20/2031 | Class 1 (convertible) Common Stock | 56,846.00 | $ 0 | 56,846 | D | ||||
Class B (convertible) Common Stock | (2) | (2) | (2) | Class A Common Stock | 22,746,786.00 | 22,746,786 | I | by RRAZ Holdings LLC (3) | |||||||
Class B (convertible) Common Stock | (2) | (2) | (2) | Class A Common Stock | 37,350.00 | 37,350 | I | by RES Master LLC (4) (5) | |||||||
Non-Qualified Stock Option (right to buy) | $ 24.50 | 04/03/2013(6) | 04/03/2022 | Class 1 (convertible) Common Stock | 357,030.00 | 357,030 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 47.79 | 04/26/2014(6) | 04/26/2023 | Class 1 (convertible) Common Stock | 167,370.00 | 167,370 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 79.61 | 04/28/2015(6) | 04/28/2024 | Class 1 (convertible) Common Stock | 105,200.00 | 105,200 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 117.12 | 04/28/2016(6) | 04/28/2025 | Class 1 (convertible) Common Stock | 94,170.00 | 94,170 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 156.84 | 04/25/2017(6) | 04/25/2026 | Class 1 (convertible) Common Stock | 79,141.00 | 79,141 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 172.09 | 04/21/2018(6) | 04/21/2027 | Class 1 (convertible) Common Stock | 84,970.00 | 84,970 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 228.26 | 04/23/2019(1) | 04/23/2028 | Class 1 (convertible) Common Stock | 66,895.00 | 66,895 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 207.48 | 04/23/2020(1) | 04/23/2029 | Class 1 (convertible) Common Stock | 73,087.00 | 73,087 | I | by RES Master LLC (5) (7) | |||||||
Non-Qualified Stock Option (right to buy) | $ 153.02 | 04/21/2021(1) | 04/21/2030 | Class 1 (convertible) Common Stock | 111,425.00 | 111,425 | I | by RES Master LLC (5) (7) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SANDS RICHARD C/O CONSTELLATION BRANDS, INC. 207 HIGH POINT DRIVE, BUILDING 100 VICTOR, NY 14564 |
X | X | Vice Chairman of the Board |
/s/ H. Elaine Ziakas, Attorney-in-fact | 04/22/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This option becomes exercisable at the rate of 25% per year beginning on the date specified. |
(2) | Shares of Class B Common Stock are convertible into shares of Class A Common Stock of the Issuer on a one-to-one basis at any time at the option of the holder. The ticker symbol for Class B Common Stock is STZ.B. |
(3) | RRA&Z Holdings LLC ("RRA&Z") is the sole member of WildStar Partners LLC ("WildStar"). WildStar holds a 0.045% co-general partner interest in various Sands Family limited partnerships. The reporting person is a member and co-manager of RRA&Z. |
(4) | Reflects a change in beneficial ownership of the reported shares of Class B Common Stock from direct to indirect. On October 13, 2020, the reporting person transferred these shares to RES Master LLC. |
(5) | RES Master LLC is a limited liability company that is wholly-owned by a trust, for which the reporting person serves as trustee and is the sole beneficiary. |
(6) | 100% of this option has become exercisable. |
(7) | Reflects a change in beneficial ownership of the reported Non-Qualified Stock Options from direct to indirect. On November 16, 2020, the reporting person transferred the Non-Qualified Stock Options to RES Master LLC. |